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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-05-01 |
| TX | RA | APPROVED | 2026-05-01 |
Branch Locations
340 W 5Th, St,Dubuque, IA 52001 • United States
212 N Riverview Street, Bellevue, IA 52031 • United States
340 W 5Th St, Dubuque, IA 52001 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dubuque Bank & Trust | Dubuque | IA | 02/2014 | 06/2019 |
| Lpl Financial Llc | Dubuque | IA | 03/2014 | 06/2019 |
| Ameriprise Financial Services Inc | Maquoketa | IA | 06/2019 | 03/2020 |
| Ameriprise Financial Services, Llc | Dubuque | IA | 03/2020 | 05/2026 |
| Lpl Financial Llc | Dubuque | IA | 05/2026 | Present |
1. 04/2026 - Bridgewater Advisors, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 15 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/4/2026 2. 04/2026 - Bridgewater Real Estate, LLC - Real Estate Rental - Inv Related - 10 Hour(s)/Month - 0 Hour(s) During Trading - Dubuque, IA, 52001 - OBA Start Date: 01/06/2020 3. 04/2026 - RCA, LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 10 Hour(s)/Month - 0 Hour(s) During Trading - Dubuque, IA, 52003- OBA Start Date: 03/01/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-17 |
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